reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor. 19/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (2) having readiness for participating in a
of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that
การให้บริการ (innovative financial services) ซึ่งสามารถช่วยแก้ไขปัญหาหรือพัฒนาการให้บริการในตลาดทุนไทย หรือเป็นประโยชน์ต่อ ผู้ลงทุนไทยหรือตลาดทุนไทย (2) มีความพร้อมในการเข้าร่วมโครงการทดสอบในเรื่อง
] person responsible for providing consultation on financial services, managing or receiving clients ’ funds. In this regard, such prohibited characteristics are only on the ground resulting from management
advisor of financial institution, or personnel with duty to provide advice on financial services, manage or receive clients’ capital. This is because such persons have prohibited characteristics under the
for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and